Regional Supervision Risk Officer (RSO) - PNC Investments
About the position
The Regional Supervision Risk Officer (RSO) at PNC Investments plays a crucial role in ensuring compliance and risk management within the organization. This position involves monitoring financial advisors for adherence to company policies, identifying suspicious sales patterns, and acting as a regional escalation point for new business reviews. The RSO also provides coaching and training to advisors on proper sales practices and keeps them informed about changes in policies and regulations. This role is remote, allowing for work from a confidential home location approved by PNC.
Responsibilities
Monitor financial advisors for compliance with company policies and regulatory requirements.
,
Identify suspicious patterns in sales and business practices.
,
Act as the regional escalation point for the review of new business.
,
Coach and train financial advisors on proper sales practices.
,
Disseminate information on changes in firm policy, procedure, and the regulatory environment.
,
Partner with regulatory risk manager to execute regulatory risk initiatives.
,
Ensure appropriate documentation is completed and review reporting by risk areas.
,
Identify potential audit issues and communicate execution plans to lines of business.
,
Participate in regulatory and audit meetings as necessary.
,
Interact with internal and external partners to monitor execution of regulations.
Requirements
Bachelor's degree or equivalent combination of education and experience.
,
2+ years of relevant professional experience in risk management or compliance.
,
Licenses: FINRA Series 7, 66 (or equivalent 63/65), and Series 24 (or equivalent 9/10) required.
Nice-to-haves
Compliance Reporting
,
Customer Risk
,
Decision Making
,
Regulatory Requirements
,
Risk Assessments
,
Risk Control
,
Strategic Objectives
Benefits
Medical/prescription drug coverage with Health Savings Account feature
,
Dental and vision options
,
Employee and spouse/child life insurance
,
Short and long-term disability protection
,
401(k) with PNC match
,
Pension and stock purchase plans
,
Dependent care reimbursement account
,
Back-up child/elder care
,
Adoption, surrogacy, and doula reimbursement
,
Educational assistance
,
Robust wellness program with financial incentives
,
Maternity and/or parental leave
,
Paid holidays
,
Occasional absence days
,
Vacation days based on career level and years of service
Apply Now
The Regional Supervision Risk Officer (RSO) at PNC Investments plays a crucial role in ensuring compliance and risk management within the organization. This position involves monitoring financial advisors for adherence to company policies, identifying suspicious sales patterns, and acting as a regional escalation point for new business reviews. The RSO also provides coaching and training to advisors on proper sales practices and keeps them informed about changes in policies and regulations. This role is remote, allowing for work from a confidential home location approved by PNC.
Responsibilities
Monitor financial advisors for compliance with company policies and regulatory requirements.
,
Identify suspicious patterns in sales and business practices.
,
Act as the regional escalation point for the review of new business.
,
Coach and train financial advisors on proper sales practices.
,
Disseminate information on changes in firm policy, procedure, and the regulatory environment.
,
Partner with regulatory risk manager to execute regulatory risk initiatives.
,
Ensure appropriate documentation is completed and review reporting by risk areas.
,
Identify potential audit issues and communicate execution plans to lines of business.
,
Participate in regulatory and audit meetings as necessary.
,
Interact with internal and external partners to monitor execution of regulations.
Requirements
Bachelor's degree or equivalent combination of education and experience.
,
2+ years of relevant professional experience in risk management or compliance.
,
Licenses: FINRA Series 7, 66 (or equivalent 63/65), and Series 24 (or equivalent 9/10) required.
Nice-to-haves
Compliance Reporting
,
Customer Risk
,
Decision Making
,
Regulatory Requirements
,
Risk Assessments
,
Risk Control
,
Strategic Objectives
Benefits
Medical/prescription drug coverage with Health Savings Account feature
,
Dental and vision options
,
Employee and spouse/child life insurance
,
Short and long-term disability protection
,
401(k) with PNC match
,
Pension and stock purchase plans
,
Dependent care reimbursement account
,
Back-up child/elder care
,
Adoption, surrogacy, and doula reimbursement
,
Educational assistance
,
Robust wellness program with financial incentives
,
Maternity and/or parental leave
,
Paid holidays
,
Occasional absence days
,
Vacation days based on career level and years of service
Apply Now